Susan M. Diamond - Aug 1, 2023 Form 4 Insider Report for HUMANA INC (HUM)

Role
Chief Financial Officer
Signature
Susan M. Diamond
Stock symbol
HUM
Transactions as of
Aug 1, 2023
Transactions value $
-$66,430
Form type
4
Date filed
8/3/2023, 11:42 AM
Previous filing
Jun 5, 2023
Next filing
Oct 3, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction HUM Humana Common Options Exercise $0 +311 +9.93% $0.00 3.44K Aug 1, 2023 Direct
transaction HUM Humana Common Tax liability -$66.4K -145 -4.21% $458.14 3.3K Aug 1, 2023 Direct F12
holding HUM Humana Common 2.15K Aug 1, 2023 See Footnote F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction HUM Restricted Stock Units Options Exercise $0 -311 -100% $0.00* 0 Aug 1, 2023 Humana Common 311 Direct F6, F8
holding HUM Options 1.51K Aug 1, 2023 Humana Common 1.51K $376.61 Direct F2
holding HUM Options 3.79K Aug 1, 2023 Humana Common 3.79K $428.68 Direct F3
holding HUM Options 5.56K Aug 1, 2023 Humana Common 5.56K $425.06 Direct F4
holding HUM Options 6.81K Aug 1, 2023 Humana Common 6.81K $510.24 Direct F5
holding HUM Restricted Stock Units 367 Aug 1, 2023 Humana Common 367 Direct F6, F7
holding HUM Restricted Stock Units 1.02K Aug 1, 2023 Humana Common 1.02K Direct F6, F9
holding HUM Restricted Stock Units 1.76K Aug 1, 2023 Humana Common 1.76K Direct F6, F10
holding HUM Phantom Stock Units 323 Aug 1, 2023 Humana Common 323 See Footnote. F11
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares held for the benefit of the reporting person as of June 30, 2023 under the Humana Retirement Savings Plan including routine payroll deductions, quarterly dividend allocation, and a routine disposition of shares to fund an administrative fee assessment under a Tax-Conditioned Plan, exempt under Rule 16b-3(c).
F2 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 02/22/2021, vesting in three annual increments from 2/22/22 to 2/22/24.
F3 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 8/1/2021, vesting in three annual increments from 8/1/22 to 8/1/24.
F4 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/21/2022, vesting in three annual increments from 2/21/23 to 2/21/25.
F5 Right to buy pursuant to Company's 2019 Amended & Restated Stock Incentive Plan. Incentive and Non-Qualified stock options granted to reporting person on 2/24/2023, vesting in three annual increments from 2/24/24 to 2/24/26.
F6 Right to receive one share per restricted stock unit pursuant to the Company's 2019 Amended & Restated Stock Incentive Plan. Each restricted stock unit represents a contingent right to receive one share of Humana Inc. common stock, exempt under Rule 16b-3(d)(1) & (3).
F7 Restricted stock units granted to reporting person on 02/22/2021, 33% of the award is vesting on 12/15/21, 12/15/22, and 12/15/23.
F8 Restricted stock units granted to reporting person on 08/1/2021, 33% of the award is vesting on 8/1/22, 8/1/23, and 8/1/24.
F9 Restricted stock units granted to reporting person on 02/21/2022, 33% of the award is vesting on 12/15/22, 12/15/23, and 12/15/24.
F10 Restricted stock units granted to reporting person on 02/24/2023, 33% of the award is vesting on 12/15/23, 12/15/24, and 12/15/25.
F11 Phantom Stock Units held for the benefit of reporting person as of June 30, 2023 based on the value of Humana common stock on a 1-for-1 basis, under the Humana Retirement Equalization Plan. The ending number of units reflects normal fluctuation due to changes in stock price.
F12 Shares disposed of represent payment of tax liability resulting from vesting of restricted shares on 8/1/23.